Morgan Lewis Seminars

Miami Compliance Workshop for Broker-Dealers

April 17, 2019

Investment Management partner Ignacio Sandoval will speak on a cybersecurity panel at the Miami Compliance Workshop for Broker Dealers. Ignacio will be joined by speakers from ACA Compliance Group and other industry experts, who will discuss topics relevant to regulatory requirements. This workshop is focused on helping broker-dealer compliance professionals deal with today’s tough regulatory challenges.

Topics will include:
Broker-Dealer Panel

  • Challenges of supervising foreign offices
  • AML – Customer Due Diligence and Handling Potential Suspicious Activities
  • Fixed Income Securities (best execution, confirmation disclosure, TRACE reporting)
  • Operations Compliance (confirming customer requests, handling errors and day’s work from clearing firm)
  • Key Disciplinary Actions

Cybersecurity Panel

  • Cybersecurity
  • Vendor Risk Management

CLE credit: Yes, please see website for details.